Hector A. Cortes

CRD 2008318 · J.P. Morgan Securities LLC · Staten Island, NY

Broker

Also appears in the source record as: Hector A Cortes; Hector Augustine Cortes; Hector Cortes

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (9): Series 6TOSIESeries 31Series 7Series 24Series 10Series 9Series 66Series 63
Registered states (5): Connecticut · New Jersey · New York · North Carolina · Texas
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (12)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Staten Island, NY · BC capacity

start not retrieved → present
Empower Financial Services, Inc.
Greenwood Village, CO · BC capacity

Nov 24, 2021 → Aug 29, 2024
Adp Broker-Dealer, Inc.
Florham Park, NJ · BC capacity

Aug 29, 2016 → Nov 17, 2021
Nylife Securities LLC
New York, NY · BC capacity

Feb 29, 2016 → Aug 3, 2016
Maxim Group LLC
New York, NY · BC capacity

Aug 26, 2013 → Jun 3, 2015
C & Co/Princeridge Group LLC
New York, NY · BC capacity

Jan 18, 2012 → Jan 2, 2013
Nomura Securities International, Inc.
New York, NY · BC capacity

Sep 28, 2009 → Dec 5, 2011
Sanford C. Bernstein & Co., LLC
New York, NY · BC capacity

Aug 20, 2008 → Sep 28, 2009
Banc Of America Securities LLC
New York, NY · BC capacity

Aug 19, 2005 → Nov 30, 2007
Lehman Brothers Inc.
New York, NY · BC capacity

Nov 15, 1989 → Jun 9, 2005
Lehman Government Securities Inc.
BC capacity

Nov 15, 1989 → Oct 23, 1995
Lehman Special Securities Inc.
BC capacity

Nov 15, 1989 → Jul 18, 1994

Source & corrections

Where this page comes from

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